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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
April 24, 2021
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5807/securities-industry-commentator/
SEC Charges Additional Participants in Pump and Dump Scheme Targeting Retail Investors (SEC Release)
SEC Charges Co-Founder of Cannabis Companies with Fraud (SEC Release)
U.S. Attorney Announces Extradition Of United Kingdom Citizen For His Role In An International Carbon Credit Fraud Scheme (DOJ Release)
Alex Oh Named SEC Director of Enforcement (SEC Release)
Amendments to the Commission's Rules of Practice (SEC Final Rule)
FINRA Fines and Suspends Rep Over OBA
In the Matter of Ronald Patrick Cameron, Respondent (FINRA AWC)
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker (BrokeAndBroker.com Blog)
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities (BrokeAndBroker.com Blog)
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5806/securities-industry-commentator/
Wall Street Compliance Professionals Need FINRA Like A Heart Attack
(BrokeAndBroker.com Blog)
Former Chase Bank Teller Charged With Bank Fraud For Targeting Older Adult Victim (DOJ Release)
Maple Heights man sentenced to 39 months for elder fraud scheme (DOJ Release)
Judgment Entered in SEC Insider Trading Case Involving Clinical Trial (SEC Release)
SEC Obtains Final Judgement Against Connecticut Investment Adviser Who Misappropriated Funds from Clients (SEC Release)
FINRA Fines and Suspends Rep Over Customer Loan
In the Matter of Elias Moses Hakimian, Respondent (FINRA AWC)
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker (BrokeAndBroker.com Blog)
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities (BrokeAndBroker.com Blog)
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5805/securities-industry-commentato
r/
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker (BrokeAndBroker.com Blog)
Three Brooklyn Residents Charged in Money Laundering Scheme with Stealing Over $30 Million from Foreign Banks / Defendants and Co-Conspirators Allegedly Created Duplicate Keys to Steal Cash and Valuables from Safe Deposit Boxes (DOJ Release)
Camden County Man Arrested for Wire Fraud (DOJ Release)
Court Enters Final Judgment Against Investment Adviser Who Defrauded Retired Couple (SEC Release)
Fintech CEO Pleads Guilty To Multiple Fraud Schemes, Including $7 Million COVID-19 Pandemic Loan Fraud And Securities Fraud (DOJ Release)
Untitled SEC Litigation Release [Court Enters Consent Judgment Against Sheng-Wen Cheng]
CFTC Orders Florida Man and His Company to Pay Over $397,000 in Connection with a Digital Assets Solicitation Scheme (CFTC Release)
FINRA Bars Goldman Sachs Research Analyst
In the Matter of Brian Maguire, Respondent (FINRA AWC)
E*Trade Customer Sues Over Margin Calculation
In the Matter of the Arbitration Between Xiaohan Qin, Claimant, v. E*Trade Securities LLC, Respondent (FINRA Arbitration Award)
At, By or Through: Fraud in the Broker-Dealer Industry (FINRA Unscripted)
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities (BrokeAndBroker.com Blog)
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5804/securities-industry-commentat
or/
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities (BrokeAndBroker.com Blog)
SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud (SEC Release)
SEC Obtains Final Judgments Against Three Defendants in International Microcap Manipulation Scheme (SEC Release)
Gary Gensler Sworn in as Member of the SEC (SEC Release)
Securities Commissioner Issues Order Stopping Fraudulent Cryptocurrency Trading Program (TSSB Release)
Robinhood Customers Sues Over Inaccurate Data
In the Matter of the Arbitration Between Adam Lohrey, Claimant, v. Robinhood Financial, LLC, Respondent (FINRA Arbitration Award)
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5803/securities-industry-commentator/
The Mother with an Edward Jones Account and Her Daughter the Edward Jones Branch Administrator (BrokeAndBroker.com Blog)
Maryland Financial Advisor Facing Federal Charges for Stealing a Client's Life Savings / Defendant Allegedly Stole Thousands of Dollars from the Victim and Used the Funds for His Personal Benefit; As a Result of the Fraud, Victim's House Went Into Foreclosure and He Owed the IRS $63,000 (DOJ Release)
High-Level Organizer of Notorious Hacking Group Sentenced to Prison for Scheme that Compromised Tens of Millions of Debit and Credit Cards / Overall Damage to Banks, Merchants, Card Companies, and Consumers Estimated at more than $1 Billion (DOJ Release)
SEC Denies Whistleblower Award
In an Order Determining Whistleblower Award Claim (SEC)
SEC Reopens Comment Period for Universal Proxy (SEC Release)
Second Managing Partner Of Investment Advisory Firm Pleads Guilty To Defrauding Clients And Investors In Over $100 Million Ponzi-Like Fraud Scheme (DOJ Release)
SEC Charges IIG Co-Founder Martin Silver With Fraud (SEC Release)
Securities Industry Commentator
Bill Singer
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